Senior Compliance Officer

Job Responsibilities: Assist all business lines that carrying out both IA and SFC regulated activities to comply with the IA and SFC rules and regulations Handle all licensing matters (IA, MPFA and SFC), application, notification, annual return and survey for regulators Carry out compliance trainings to the business units and provide advice to the...

A leading financial institution is seeking a Senior Compliance Officer to support compliance monitoring, trade surveillance, regulatory change management, product governance, and strategic business initiatives. Key Responsibilities Conduct compliance monitoring, testing, and control reviews to assess the effectiveness of regulatory controls. Perform...

Harris Fraser Corporate Services Limited in Hong Kong seeks a Compliance professional with strong regulatory knowledge to support IA and SFC activities. You will handle licensing, provide guidance to management, and draft legal agreements for group business lines. The role requires a university degree in law or related fields and at least 5 years in...

About Us: We are a leading crypto exchange, licensed by the Hong Kong Securities and Futures Commission (SFC) to provide virtual asset services. As part of our commitment to maintaining the highest regulatory and compliance standards, we are seeking a Senior Legal & Compliance Officer to support the Head of Compliance in overseeing legal and compliance...

A leading financial services firm in Hong Kong is urgently seeking a Compliance Officer / Senior Officer to ensure adherence to regulatory requirements and company policies. The ideal candidate will have a university degree in Law or Finance, with a minimum of 2 years of experience in securities firms. Key responsibilities include liaising with regulators...

Futu Holdings Limited is seeking an experienced Compliance professional to supervise licensing matters and provide guidance across the securities brokerage and wealth management units. The role focuses on regulatory compliance, contract review, and coordinating audits with internal teams and regulators. The ideal candidate holds a degree in...

The Hong Kong Trade Development Council (HKTDC) is a statutory body promoting Hong Kong's trade and fostering business opportunities. We are seeking a dynamic, high-calibre and experienced professional to join our team in Hong Kong. You will handle lease administration, market research, and negotiation while ensuring compliance with procedures and providing...

EMCD, a leading crypto technology company with a global footprint, seeks a Senior Compliance Officer to bolster its international compliance function. The role covers product launches, partnerships and business operations across multiple jurisdictions. You will lead AML/CFT programs, oversee KYB/KYB, sanctions screening and transaction monitoring, and work...

Donghai International Financial Holdings Company Limited seeks an experienced Responsible Officer to manage SFC Type 1 activities and oversee compliance with all relevant laws, rules, and SFC guidelines. The role requires leadership in policy development, monitoring, and regulatory filings, with strong input on new products and business initiatives. The...